401k Plan data: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN plan

JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 401k Plan overview

Plan Name	JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN
Plan identification number	003

JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Benefits are primarily flat dollar (includes dollars per year of service)
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

JAMES J. ROMANO, M.D., INC. has sponsored the creation of one or more 401k plans.

Company Name: JAMES J. ROMANO, M.D., INC.

Employer identification number (EIN): 943330997

NAIC Classification: 621111
NAIC Description: Offices of Physicians (except Mental Health Specialists)

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2019-01-01 JAMES ROMANO 2019-09-07
003 2018-01-01 JAMES ROMANO 2019-06-01
003 2017-01-01 JAMES ROMANO 2018-08-07
003 2016-01-01 JAMES ROMANO 2017-08-04
003 2015-01-01 JAMES ROMANO 2016-09-08
003 2014-01-01 JAMES ROMANO 2015-07-31
003 2013-01-01
003 2012-01-01 CRAIG SCHILLER 2013-10-14 CRAIG SCHILLER 2013-10-14
003 2011-01-01 CRAIG SCHILLER 2012-10-08 CRAIG SCHILLER 2012-10-08
003 2010-01-01 CRAIG SCHILLER 2011-09-28 CRAIG SCHILLER 2011-09-28

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2019-01-01	JAMES ROMANO	2019-09-07
003	2018-01-01	JAMES ROMANO	2019-06-01
003	2017-01-01	JAMES ROMANO	2018-08-07
003	2016-01-01	JAMES ROMANO	2017-08-04
003	2015-01-01	JAMES ROMANO	2016-09-08
003	2014-01-01	JAMES ROMANO	2015-07-31
003	2013-01-01
003	2012-01-01	CRAIG SCHILLER	2013-10-14	CRAIG SCHILLER	2013-10-14
003	2011-01-01	CRAIG SCHILLER	2012-10-08	CRAIG SCHILLER	2012-10-08
003	2010-01-01	CRAIG SCHILLER	2011-09-28	CRAIG SCHILLER	2011-09-28

Plan Statistics for JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN

401k plan membership statisitcs for JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN

Measure Date Value
2018: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 2018 401k membership
Market value of plan assets 2018-12-31 1,624,829
Acturial value of plan assets 2018-12-31 1,624,829
Funding target for retired participants and beneficiaries receiving payment 2018-12-31 0
Number of terminated vested participants 2018-12-31 5
Fundng target for terminated vested participants 2018-12-31 5,889
Active participant vested funding target 2018-12-31 1,718,368
Number of active participants 2018-12-31 1
Total funding liabilities for active participants 2018-12-31 1,718,368
Total participant count 2018-12-31 6
Total funding target for all participants 2018-12-31 1,724,257
Balance at beginning of prior year after applicable adjustments 2018-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2018-12-31 45,135
Carryover balanced portion elected for use to offset prior years funding requirement 2018-12-31 0
Prefunding balanced used to offset prior years funding requirement 2018-12-31 32,399
Amount remaining of carryover balance 2018-12-31 0
Amount remaining of prefunding balance 2018-12-31 12,736
Present value of excess contributions 2018-12-31 1
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2018-12-31 1
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2018-12-31 0
Reductions in caryover balances due to elections or deemed elections 2018-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2018-12-31 13,560
Balance of carryovers at beginning of current year 2018-12-31 0
Balance of prefunding at beginning of current year 2018-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2018-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2018-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2018-12-31 0
Unpaid minimum required contributions for all prior years 2018-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2018-12-31 0
Remaining amount of unpaid minimum required contributions 2018-12-31 0
Minimum required contributions for current year target normal cost 2018-12-31 0
Net shortfall amortization installment of oustanding balance 2018-12-31 112,988
Waiver amortization installment 2018-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2018-12-31 5,217
Carryover balance elected to use to offset funding requirement 2018-12-31 0
Prefunding balance elected to use to offset funding requirement 2018-12-31 5,217
Additional cash requirement 2018-12-31 0
Contributions allocatedtoward minimum required contributions for current year 2018-12-31 0
Unpaid minimum required contributions for current year 2018-12-31 0
Unpaid minimum required contributions for all years 2018-12-31 0
2017: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets 2017-12-31 1,518,798
Acturial value of plan assets 2017-12-31 1,518,798
Funding target for retired participants and beneficiaries receiving payment 2017-12-31 0
Number of terminated vested participants 2017-12-31 5
Fundng target for terminated vested participants 2017-12-31 5,052
Active participant vested funding target 2017-12-31 1,566,380
Number of active participants 2017-12-31 1
Total funding liabilities for active participants 2017-12-31 1,566,380
Total participant count 2017-12-31 6
Total funding target for all participants 2017-12-31 1,571,432
Balance at beginning of prior year after applicable adjustments 2017-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2017-12-31 14,039
Carryover balanced portion elected for use to offset prior years funding requirement 2017-12-31 0
Prefunding balanced used to offset prior years funding requirement 2017-12-31 0
Amount remaining of carryover balance 2017-12-31 0
Amount remaining of prefunding balance 2017-12-31 14,039
Present value of excess contributions 2017-12-31 31,877
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2017-12-31 33,767
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2017-12-31 30,000
Reductions in caryover balances due to elections or deemed elections 2017-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2017-12-31 0
Balance of carryovers at beginning of current year 2017-12-31 0
Balance of prefunding at beginning of current year 2017-12-31 45,135
Total employer contributions 2017-12-31 8,000
Total employee contributions 2017-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2017-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2017-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2017-12-31 7,442
Liquidity shortfalls end of Q1 2017-12-31 0
Liquidity shortfalls end of Q2 2017-12-31 0
Liquidity shortfalls end of Q3 2017-12-31 0
Liquidity shortfalls end of Q4 2017-12-31 0
Unpaid minimum required contributions for all prior years 2017-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2017-12-31 0
Remaining amount of unpaid minimum required contributions 2017-12-31 0
Minimum required contributions for current year target normal cost 2017-12-31 0
Net shortfall amortization installment of oustanding balance 2017-12-31 97,769
Waiver amortization installment 2017-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2017-12-31 39,840
Carryover balance elected to use to offset funding requirement 2017-12-31 0
Prefunding balance elected to use to offset funding requirement 2017-12-31 32,399
Additional cash requirement 2017-12-31 7,441
Contributions allocatedtoward minimum required contributions for current year 2017-12-31 7,442
Unpaid minimum required contributions for current year 2017-12-31 0
Unpaid minimum required contributions for all years 2017-12-31 0
2016: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 2016 401k membership
Market value of plan assets 2016-12-31 1,336,859
Acturial value of plan assets 2016-12-31 1,336,859
Funding target for retired participants and beneficiaries receiving payment 2016-12-31 0
Number of terminated vested participants 2016-12-31 5
Fundng target for terminated vested participants 2016-12-31 3,898
Active participant vested funding target 2016-12-31 1,463,642
Number of active participants 2016-12-31 1
Total funding liabilities for active participants 2016-12-31 1,463,642
Total participant count 2016-12-31 6
Total funding target for all participants 2016-12-31 1,467,540
Balance at beginning of prior year after applicable adjustments 2016-12-31 0
Prefunding balance at beginning of prior year after applicable adjustments 2016-12-31 15,000
Carryover balanced portion elected for use to offset prior years funding requirement 2016-12-31 0
Prefunding balanced used to offset prior years funding requirement 2016-12-31 1
Amount remaining of carryover balance 2016-12-31 0
Amount remaining of prefunding balance 2016-12-31 14,999
Present value of excess contributions 2016-12-31 14,762
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance 2016-12-31 15,668
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance 2016-12-31 0
Reductions in caryover balances due to elections or deemed elections 2016-12-31 0
Reductions in prefunding balances due to elections or deemed elections 2016-12-31 0
Balance of carryovers at beginning of current year 2016-12-31 0
Balance of prefunding at beginning of current year 2016-12-31 14,039
Total employer contributions 2016-12-31 78,861
Total employee contributions 2016-12-31 0
Contributions allocated toward unpaid minimum require contributions from prior years 2016-12-31 0
Contributions made to avoid restrictions adjusted to valuation date 2016-12-31 0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date 2016-12-31 72,560
Liquidity shortfalls end of Q1 2016-12-31 0
Liquidity shortfalls end of Q2 2016-12-31 0
Liquidity shortfalls end of Q3 2016-12-31 0
Liquidity shortfalls end of Q4 2016-12-31 0
Unpaid minimum required contributions for all prior years 2016-12-31 0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years 2016-12-31 0
Remaining amount of unpaid minimum required contributions 2016-12-31 0
Minimum required contributions for current year target normal cost 2016-12-31 0
Net shortfall amortization installment of oustanding balance 2016-12-31 144,720
Waiver amortization installment 2016-12-31 0
Total funding amount beforereflecting carryover/prefunding balances 2016-12-31 40,683
Carryover balance elected to use to offset funding requirement 2016-12-31 0
Prefunding balance elected to use to offset funding requirement 2016-12-31 0
Additional cash requirement 2016-12-31 40,683
Contributions allocatedtoward minimum required contributions for current year 2016-12-31 72,560
Unpaid minimum required contributions for current year 2016-12-31 0
Unpaid minimum required contributions for all years 2016-12-31 0

Measure	Date	Value
2018: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 2018 401k membership
Market value of plan assets	2018-12-31	1,624,829
Acturial value of plan assets	2018-12-31	1,624,829
Funding target for retired participants and beneficiaries receiving payment	2018-12-31	0
Number of terminated vested participants	2018-12-31	5
Fundng target for terminated vested participants	2018-12-31	5,889
Active participant vested funding target	2018-12-31	1,718,368
Number of active participants	2018-12-31	1
Total funding liabilities for active participants	2018-12-31	1,718,368
Total participant count	2018-12-31	6
Total funding target for all participants	2018-12-31	1,724,257
Balance at beginning of prior year after applicable adjustments	2018-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2018-12-31	45,135
Carryover balanced portion elected for use to offset prior years funding requirement	2018-12-31	0
Prefunding balanced used to offset prior years funding requirement	2018-12-31	32,399
Amount remaining of carryover balance	2018-12-31	0
Amount remaining of prefunding balance	2018-12-31	12,736
Present value of excess contributions	2018-12-31	1
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2018-12-31	1
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2018-12-31	0
Reductions in caryover balances due to elections or deemed elections	2018-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2018-12-31	13,560
Balance of carryovers at beginning of current year	2018-12-31	0
Balance of prefunding at beginning of current year	2018-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2018-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2018-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2018-12-31	0
Unpaid minimum required contributions for all prior years	2018-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2018-12-31	0
Remaining amount of unpaid minimum required contributions	2018-12-31	0
Minimum required contributions for current year target normal cost	2018-12-31	0
Net shortfall amortization installment of oustanding balance	2018-12-31	112,988
Waiver amortization installment	2018-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2018-12-31	5,217
Carryover balance elected to use to offset funding requirement	2018-12-31	0
Prefunding balance elected to use to offset funding requirement	2018-12-31	5,217
Additional cash requirement	2018-12-31	0
Contributions allocatedtoward minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for current year	2018-12-31	0
Unpaid minimum required contributions for all years	2018-12-31	0
2017: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 2017 401k membership
Market value of plan assets	2017-12-31	1,518,798
Acturial value of plan assets	2017-12-31	1,518,798
Funding target for retired participants and beneficiaries receiving payment	2017-12-31	0
Number of terminated vested participants	2017-12-31	5
Fundng target for terminated vested participants	2017-12-31	5,052
Active participant vested funding target	2017-12-31	1,566,380
Number of active participants	2017-12-31	1
Total funding liabilities for active participants	2017-12-31	1,566,380
Total participant count	2017-12-31	6
Total funding target for all participants	2017-12-31	1,571,432
Balance at beginning of prior year after applicable adjustments	2017-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2017-12-31	14,039
Carryover balanced portion elected for use to offset prior years funding requirement	2017-12-31	0
Prefunding balanced used to offset prior years funding requirement	2017-12-31	0
Amount remaining of carryover balance	2017-12-31	0
Amount remaining of prefunding balance	2017-12-31	14,039
Present value of excess contributions	2017-12-31	31,877
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2017-12-31	33,767
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2017-12-31	30,000
Reductions in caryover balances due to elections or deemed elections	2017-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2017-12-31	0
Balance of carryovers at beginning of current year	2017-12-31	0
Balance of prefunding at beginning of current year	2017-12-31	45,135
Total employer contributions	2017-12-31	8,000
Total employee contributions	2017-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2017-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2017-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2017-12-31	7,442
Liquidity shortfalls end of Q1	2017-12-31	0
Liquidity shortfalls end of Q2	2017-12-31	0
Liquidity shortfalls end of Q3	2017-12-31	0
Liquidity shortfalls end of Q4	2017-12-31	0
Unpaid minimum required contributions for all prior years	2017-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2017-12-31	0
Remaining amount of unpaid minimum required contributions	2017-12-31	0
Minimum required contributions for current year target normal cost	2017-12-31	0
Net shortfall amortization installment of oustanding balance	2017-12-31	97,769
Waiver amortization installment	2017-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2017-12-31	39,840
Carryover balance elected to use to offset funding requirement	2017-12-31	0
Prefunding balance elected to use to offset funding requirement	2017-12-31	32,399
Additional cash requirement	2017-12-31	7,441
Contributions allocatedtoward minimum required contributions for current year	2017-12-31	7,442
Unpaid minimum required contributions for current year	2017-12-31	0
Unpaid minimum required contributions for all years	2017-12-31	0
2016: JAMES J. ROMANO, M.D., INC. DEFINED BENEFIT PLAN 2016 401k membership
Market value of plan assets	2016-12-31	1,336,859
Acturial value of plan assets	2016-12-31	1,336,859
Funding target for retired participants and beneficiaries receiving payment	2016-12-31	0
Number of terminated vested participants	2016-12-31	5
Fundng target for terminated vested participants	2016-12-31	3,898
Active participant vested funding target	2016-12-31	1,463,642
Number of active participants	2016-12-31	1
Total funding liabilities for active participants	2016-12-31	1,463,642
Total participant count	2016-12-31	6
Total funding target for all participants	2016-12-31	1,467,540
Balance at beginning of prior year after applicable adjustments	2016-12-31	0
Prefunding balance at beginning of prior year after applicable adjustments	2016-12-31	15,000
Carryover balanced portion elected for use to offset prior years funding requirement	2016-12-31	0
Prefunding balanced used to offset prior years funding requirement	2016-12-31	1
Amount remaining of carryover balance	2016-12-31	0
Amount remaining of prefunding balance	2016-12-31	14,999
Present value of excess contributions	2016-12-31	14,762
Total available prior years excess cotributions available at beginning of current plan year to add to prefunding balance	2016-12-31	15,668
Total available prior years excess cotributions added at beginning of current plan year to add to prefunding balance	2016-12-31	0
Reductions in caryover balances due to elections or deemed elections	2016-12-31	0
Reductions in prefunding balances due to elections or deemed elections	2016-12-31	0
Balance of carryovers at beginning of current year	2016-12-31	0
Balance of prefunding at beginning of current year	2016-12-31	14,039
Total employer contributions	2016-12-31	78,861
Total employee contributions	2016-12-31	0
Contributions allocated toward unpaid minimum require contributions from prior years	2016-12-31	0
Contributions made to avoid restrictions adjusted to valuation date	2016-12-31	0
Contributions allocated toward minimum required contributions for current year adjusted to valuation date	2016-12-31	72,560
Liquidity shortfalls end of Q1	2016-12-31	0
Liquidity shortfalls end of Q2	2016-12-31	0
Liquidity shortfalls end of Q3	2016-12-31	0
Liquidity shortfalls end of Q4	2016-12-31	0
Unpaid minimum required contributions for all prior years	2016-12-31	0
iDiscounted employer contributions allocated toward unpaid minimum required contributions from prior years	2016-12-31	0
Remaining amount of unpaid minimum required contributions	2016-12-31	0
Minimum required contributions for current year target normal cost	2016-12-31	0
Net shortfall amortization installment of oustanding balance	2016-12-31	144,720
Waiver amortization installment	2016-12-31	0
Total funding amount beforereflecting carryover/prefunding balances	2016-12-31	40,683
Carryover balance elected to use to offset funding requirement	2016-12-31	0
Prefunding balance elected to use to offset funding requirement	2016-12-31	0
Additional cash requirement	2016-12-31	40,683
Contributions allocatedtoward minimum required contributions for current year	2016-12-31	72,560
Unpaid minimum required contributions for current year	2016-12-31	0
Unpaid minimum required contributions for all years	2016-12-31	0

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Company Name:	JAMES J. ROMANO, M.D., INC.
Employer identification number (EIN):	943330997
NAIC Classification:	621111
NAIC Description:	Offices of Physicians (except Mental Health Specialists)